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LEARNING FROM
ARNSTEIN’S LADDER

Sherry Arnstein, writing in 1969 about citizen involvement in planning

processes in the United States, described a “ladder of citizen participation” that
showed participation ranging from low to high. Arnstein depicted the failings of
typical participation processes at the time and characterized aspirations toward
engagement that have now been elevated to core values in planning practice. But
since that time, the political, economic, and social context has evolved greatly,
and planners, organizers, and residents have been involved in planning and
community development practice in ways previously unforeseen.
Learning from Arnstein’s Ladder draws on contemporary theory, expertise,
empirical analysis, and practical applications in what is now more commonly
termed public engagement in planning to examine the enduring impacts of
Arnstein’s work and the pervasive challenges that planners face in advancing
meaningful public engagement. This book presents research from throughout
the world, including Australia, Brazil, India, Indonesia, Portugal, Serbia, and the
United States, among others, that utilizes, critiques, revises, and expands upon
Arnstein’s aspirational vision. It is essential reading for educators and students of
planning.

Mickey Lauria is a Professor of City and Regional Planning and Director of the
transdisciplinary Ph.D. program in Planning, Design, and the Built Environment
at Clemson University. He has served as President of the Association of Collegiate
Schools of Planning and has edited the Journal of Planning Education and Research
and co-edited Town Planning Review while serving on the editorial boards of
four planning research journals. He has published articles on urban schooling,
community-based development organizations, urban redevelopment, and the
politics of planning in planning, geography, and urban studies journals. His recent
research interests include professional planners’ ethical frameworks, neighborhood
conditions and planning issues involving race and class, and conservation easements
and affordable housing. He has taught and researched planning issues throughout
the United States and in Australia and Europe including Austria, England, France,
Italy, and Poland.

Carissa Schively Slotterback is a Professor and Dean of the Graduate School

of Public and International Affairs at the University of Pittsburgh. Her research is
focused on stakeholder engagement and decision-making in environmental and
land use planning. She has led a number of initiatives focused on interdiscipli-
nary and engaged research and education, including co-founding and directing
the Resilient Communities Project, which builds community–university partner-
ships to advance sustainability. She also previously served as Director of Research
Engagement in the University of Minnesota’s Office of the Vice President for
Research, where she created and implemented multiple initiatives to advance col-
laborative and engaged research within the university and with external partners.
She is the Vice President/President-Elect of the Association of Collegiate Schools
of Planning and was inducted in 2018 as a Fellow of the American Institute of
Certified Planners.
LEARNING FROM
ARNSTEIN’S LADDER
From Citizen Participation
to Public Engagement

Edited by Mickey Lauria and

Carissa Schively Slotterback
First published 2021
by Routledge
52 Vanderbilt Avenue, New York, NY 10017
and by Routledge
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Routledge is an imprint of the Taylor & Francis Group, an informa business
© 2021 Taylor & Francis
The right of Mickey Lauria and Carissa Schively Slotterback to be
identified as the authors of the editorial material, and of the authors for
their individual chapters, has been asserted in accordance with sections
77 and 78 of the Copyright, Designs and Patents Act 1988.
All rights reserved. No part of this book may be reprinted or reproduced
or utilised in any form or by any electronic, mechanical, or other
means, now known or hereafter invented, including photocopying and
recording, or in any information storage or retrieval system, without
permission in writing from the publishers.
Trademark notice: Product or corporate names may be trademarks
or registered trademarks, and are used only for identification and
explanation without intent to infringe.
Library of Congress Cataloging-in-Publication Data
Names: Lauria, Mickey, editor. | Slotterback, Carissa, editor.
Title: Learning from Arnstein’s ladder: from citizen participation to
public engagement / edited by Mickey Lauria and Carissa Slotterback.
Identifiers: LCCN 2020017632 (print) | LCCN 2020017633 (ebook) |
ISBN 9780367258221 (hardback) | ISBN 9780367258238 (paperback) |
ISBN 9780429290091 (ebook)
Subjects: LCSH: Arnstein, Sherry R. | City planning–Citizen
participation. | Community development. | Urban policy–Citizen
participation.
Classification: LCC HT166 .L4248 2020 (print) | LCC HT166 (ebook)
| DDC 307.1/216–dc23
LC record available at https://lccn.loc.gov/2020017632
LC ebook record available at https://lccn.loc.gov/2020017633
ISBN: 9780367258221 (hbk)
ISBN: 9780367258238 (pbk)
ISBN: 9780429290091 (ebk)
Typeset in Bembo
by Deanta Global Publishing Services, Chennai, India
CONTENTS

List of Contributors viii

Acknowledgments xvii

1 Introduction: Learning from Arnstein’s Ladder:

From Citizen Participation to Public Engagement 1
Mickey Lauria and Carissa Schively Slotterback

SECTION 1
INSTITUTIONALIZING PUBLIC ENGAGEMENT 9

Institutionalizing Public Engagement in Context 11

2 Building “A Ladder of Citizen Participation”:

Sherry Arnstein, Citizen Participation, and Model Cities 13
John Gaber

3 The Scaling-up of Participatory Budgeting: Insights from

Brazil and Portugal 35
Roberto Falanga and Igor Ferraz da Fonseca

4 Defining Partnership: Incorporating Equitable Participatory

Methodologies in Heritage Disaster Recovery Planning for
Socially Vulnerable Groups 50
Jamesha Gibson, Marccus D. Hendricks, and Jeremy C. Wells
vi Contents

5 Community-Based Village Planning for the Reconstruction

of Post-Tsunami and Post-Conf lict Aceh: Participatory
Planning in Practice 67
Erwin Fahmi and Handi Chandra-Putra

SECTION 2
PUBLIC ENGAGEMENT AS POWER SHARING 87

Public Engagement as Power Sharing 89

6 Citizen Participation in Transitional Society: The Evolution

of Participatory Planning in Serbia 91
Ana Perić

7 From Information to Placation: Locating Participatory

Planning in Bangalore on Arnstein’s Ladder 110
Salila Vanka

8 The Relationship between Citizen Participation and the

Just City: Can More Participation Produce More Equitable
Outcomes? 129
Susan S. Fainstein and Adam Lubinsky

9 Rethinking Arnstein’s Ladder: Community Benefits

Agreements and the Quest for Greater Public Participation 148
Ralph Rosado

SECTION 3
PUBLIC ENGAGEMENT AS POWER REDISTRIBUTION 165

Public Engagement as Power Redistribution 167

10 Learning from Arnstein, Meadows, Boggs and Lorde:

Propositions on Building Collective Power for Climate
Justice and Resilience 169
Elizabeth Walsh and Barbara Brown Wilson

11 Time, Place, and Voice in Public Art 189

Salina M. Almanzar and Andrew Zitcer

12 Jumping Off the Ladder: Participation and Insurgency in

Detroit’s Urban Planning 203
Allison B. Laskey and Walter Nicholls
 Contents vii

13 Participation in Postpolitical Times: Protesting

WestConnex in Sydney, Australia 228
Graham Haughton and Phil McManus

SECTION 4
PUBLIC ENGAGEMENT IN PLANNING EDUCATION AND RESEARCH 251

Public Engagement in Planning Education and Research 253

14 Participation, Inclusion, and Voice in Neighborhood

Planning 255
Jane Rongerude

15 A Bridge to Civic Empowerment: A Rooted University

Approach to Creating Equitable University–Community
Partnerships and Just Power Relations 271
Mirle Rabinowitz Bussell, Leslie R. Lewis, Kelsey Lindner,
Keith Pezzoli, William T. Oswald, and Paul L. Watson

16 Building the Foundation for Arnstein’s Ladder: Community

Empowerment through a Participatory Neighborhood
Narrative 288
Laura Dedenbach, Kathryn Frank, Kristin Larsen, and
Tyeshia Redden

17 Time for a Rope Ladder?: Re-Thinking Participation

through a Youth-Driven Process for Developing a Youth
Advisory Council 304
Krishna Arunkumar, Drew D. Bowman, Stephanie E. Coen,
Mohammad A. El-Bagdady, Christina R. Ergler, Jason A.
Gilliland, Ahad Mahmood, and Suraj Paul

SECTION 5
BUILDING PUBLIC ENGAGEMENT IN THE 2020S 325

18 Looking Ahead: Public Engagement in Urban Planning

Research, Practice, and Education 327
Mickey Lauria and Carissa Schively Slotterback

Index 331
CONTRIBUTORS

Salina M. Almanzar is a visual artist working in Lancaster, Pennsylvania. Her work

focuses on elevating and sharing stories from historically marginalized communi-
ties in Lancaster City, a predominantly Latinx community. Her community-based
mural work has been recognized among the top 50 public art projects in the nation
by Americans for the Arts. Her research examines creative acts of belonging and
place-keeping by the Latinx community in Lancaster, Pennsylvania. She is a gradu-
ate of Franklin and Marshall College (B.A. Studio Art and English Literature) and
Drexel University (M.S. Arts Administration).

Krishna Arunkumar is one of the developers and founding members of the Youth
Advisory Council of the Human Environments Analysis Laboratory (HEALYAC).
She served on the HEALYAC while she was a student at London Central Secondary
School in London, Ontario, Canada. She is currently an undergraduate student in
Health Sciences at the University of Waterloo (Ontario, Canada).

Drew D. Bowman is a Research Associate and field manager at the Human

Environments Analysis Laboratory at Western University (Ontario, Canada). At
Western, she completed her undergraduate degree in Health Sciences (B.H.Sc.)
and her Master's degree (M.A.) in Health Geography. She was involved in the
development of the HEALYAC during her graduate studies and continues to serve
as staff co-facilitator for the youth council.

Mirle Rabinowitz Bussell is the Academic Director of Real Estate and Development
in UC San Diego’s Department of Urban Studies and Planning. She is also the
associate director for the Bioregional Center for Sustainability Science, Planning,
and Design. Her research and teaching focus on comprehensive community
 Contributors ix

development in underserved communities. In both her teaching and research, she

aims to bridge theory and practice.

Handi Chandra-Putra is a postdoctoral researcher at Lawrence Berkeley National

Laboratory at Berkeley, CA. He is also an affiliated researcher at the Department
of Urban and Real Estate Development, University of Tarumanagara, Jakarta,
Indonesia. His research focuses on community resilience and adaptation towards
extreme climate events and the development of planning support tools. He was
an urban planning consultant at the World Bank. He has published peer-reviewed
articles and reports in the topics of urban resilience, spatial data infrastructure, and
electricity usage in buildings.

Stephanie E. Coen is an Assistant Professor in the School of Geography at the

University of Nottingham. Her research focuses on critical health geographies with
a particular interest in how taken-for-granted and often unquestioned features of our
day-to-day environments become implicated in the production of health outcomes,
behaviors, and inequities. During her time as Postdoctoral Associate at the HEAL,
Stephanie was one of the staff involved in the development of the HEALYAC and
she served as HEALYAC staff co-facilitator in the council’s early days.

Laura Dedenbach is a Lecturer and Graduate Coordinator in the Department

of Urban and Regional Planning at the University of Florida. Her teaching and
research examine the relationship between community resilience, empowerment
planning, and planning participation with a specific focus on land use, housing,
gentrification, and narratives of place and culture. Dr. Dedenbach’s expertise in
land use and neighborhood planning is informed by over 20 years of public- and
private-sector experience as a planner and planning consultant. She is also a mem-
ber of the American Institute of Certified Planners.

Mohammad A. El-Bagdady is the Laboratory Manager of the Human Environments

Analysis Laboratory (HEAL) at Western University (Ontario, Canada). He com-
pleted his undergraduate degree in Medical Sciences at Western University. He also
serves as staff co-facilitator for the HEALYAC.

Christina R. Ergler is a lecturer in the School of Geography at The University of

Otago, New Zealand. Her research interests are at the intersection of geography,
sociology, and public health and center on how physical, social, and symbolic envi-
ronments shape and are shaped by the way people play, move around in, live, age,
fall ill, and recover in urban and rural environments. During her time as a HEAL
Fellow she was involved in the HEALYAC.

Erwin Fahmi is a senior lecturer at the Department of Urban and Real Estate
Development, University of Tarumanagara, Jakarta, Indonesia, since 2016. His pro-
fessional experiences cover both academic and policy advisory. His publications
x Contributors

include various book chapters and journal articles in the fields of local politics,
forest governance, disaster-risk reduction, planning history and theory, and research
methodology. Erwin received his Ph.D. from University of Indonesia (2002) where
his research focused on village governance. Library research for this dissertation
was conducted at the Workshop in Political Theory and Policy Analysis, University
of Indiana, Bloomington, under the supervision of Professors Vincent and Elinor
Ostrom (Nobel Laureate in Economics, 2009).

Susan S. Fainstein is a Senior Research Fellow, Lecturer, and emerita Professor of

Urban Planning in the Harvard Graduate School of Design. She previously taught
at Columbia and Rutgers Universities and the National University of Singapore.
She received the Davidoff Book Award for The Just City from the Association of
Collegiate Schools of Planning (ACSP). Her writings focus on planning theory,
urban theory, and urban redevelopment.

Roberto Falanga is a Postdoc Research Fellow at the Institute of Social Sciences,

University of Lisbon. He is currently conducting an independent research project
with the support of national funding (Gran Agreement: SFRH/BPD/109406/2015)
on participatory processes in Southern Europe, and co-leading at the host institu-
tion a European Union-funded project on the co-design and co-production of
cultural heritage-led regeneration in Lisbon (ROCK project, Grant Agreement:
730280). He earned his PhD in democracy studies (main area: sociology) in 2013 in
the Centre for Social Studies at the University of Coimbra (Portugal), and his major
academic results have been published in international papers, book chapters, and
policy briefs.

Igor Ferraz da Fonseca is a Research and Planning Specialist at the Institute for
Applied Economic Research (IPEA), Ministry of Economy, Brazil. He completed
his PhD in Democracy in the 21st Century at the University of Coimbra, Portugal.
His research focuses on social participation, environmental governance, state capac-
ities, local development and intragovernmental coordination

Kathryn Frank is an Associate Professor in the Department of Urban and Regional

Planning at the University of Florida. She is also Director of the Florida Center
for Innovative Communities. Dr. Frank’s research, teaching, and service integrate
the fields of planning and engagement to assist communities in becoming more
sustainable and resilient in the face of 21st-century challenges. She works across
all types of communities, from urban to rural settings, and from neighborhood to
regional scales.

John Gaber is the Department Chair of City Planning and Real Estate
Development and a Professor of City and Regional Planning at Clemson
University. Dr. Gaber is the co-author of Qualitative Analysis for Planning and
Policy: Beyond the Numbers, by Taylor & Francis, and has over 30 planning research
 Contributors xi

articles published in an assortment of journals including Journal of Planning

Education and Research, Journal of Architecture and Planning, Evaluation and Program
Planning, and Journal of Planning Urban Development. His most recent research pro-
jects include Sherry Arnstein’s “The Ladder of Citizen Participation”, qualita-
tive research techniques used in citizen participation projects, Hippietowns, and
mixed-method research strategies.

Jamesha Gibson is an alumna of the Historic Preservation and Community

Planning graduate programs at the University of Maryland in College Park. She
is the recipient of the Mildred Colodny Diversity Scholarship for Graduate Study
in Historic Preservation, sponsored by the National Trust for Historic Preservation
(USA). She has also completed the ARCUS Professional Fellowship in Cultural
Heritage and Historic Preservation Leadership.

Jason A. Gilliland is Director of the Urban Development Program and a

Professor in the Department of Geography, School of Health Studies, Department
of Paediatrics, and Department of Epidemiology and Biostatistics at Western
University. He is also a Scientist with the Children’s Health Research Institute
and Lawson Health Research Institute, two of Canada’s leading hospital-based
research institutes. He is also Director of the Human Environments Analysis Lab,
which develops and connects highly skilled researchers to create, disseminate, and
mobilize knowledge for making healthy, thriving communities.

Graham Haughton is a Professor of Urban and Environmental Planning at the

University of Manchester, England. His research interests include sustainable cities,
urban infrastructure, and urban economic development strategies. He has published
several books, including Sustainable Cities (1994, with Colin Hunter) and, most
recently, Why Plan? Theory for Practitioners (2019, with Iain White: Lund Humphries).

Marccus D. Hendricks is an Assistant Professor of Urban Studies and Planning

in the School of Architecture, Planning, and Preservation at the University of
Maryland in College Park, Maryland. His primary research interests include infra-
structure planning and management, social vulnerability to disaster, environmental
justice, risk analysis, sustainable development, public health and the built environ-
ment, and participatory action research. At the intersection of his work, he uses a
combined social vulnerability to disaster and environmental justice framework, to
ensure that low-income and communities of color are planned and accounted for,
emphasizing participation and action, in light of everyday urban stormwater man-
agement and extreme events such as urban flooding. Other relevant work of his
includes developing low-cost and practical methods to assess housing damage and
rebuilding progress for disaster recovery planning.

Kristin Larsen, AICP, is a Professor and Director of the School of Landscape

Architecture and Planning at the University of Florida. She also serves as Chair
xii Contributors

of the Department of Urban and Regional Planning. Under her leadership, the
Department of Urban and Regional Planning spearheaded the development and
launch of the first fully online graduate degree in urban and regional planning in
the United States. Her research addresses planning history and its influence on cur-
rent planning practice with a focus on community development and design from
neighborhoods to new towns to regions, the roots of modern US housing policy
and programs, and issues of social justice. Her 2016 book, Community Architect:
The Life and Vision of Clarence S. Stein, examines the planning pioneer’s innovations
in site design, housing policy, and new town development.

Allison B. Laskey is a Ph.D. Candidate in Urban and Environmental Planning and

Policy at the University of California, Irvine and Part-Time Professor at Wayne
State University. Previously she spent six years working as a federal policy researcher
at the IDA Science and Technology Policy Institute in Washington DC. Her inter-
ests include community-based research in disinvested and gentrifying neighbor-
hoods, insurgent planning, environmental sustainability, and knowledge and power
in policy decision-making.

Mickey Lauria is a Professor of City and Regional Planning and Director of the
transdisciplinary Ph.D. program in Planning, Design, and the Built Environment
at Clemson University. He has served as President of the Association of Collegiate
Schools of Planning and has edited the Journal of Planning Education and Research and
co-edited Town Planning Review while serving on the editorial boards of four plan-
ning research journals. He has published articles on urban schooling, community-
based development organizations, urban redevelopment, and the politics of planning
in planning, geography, and urban studies journals. His recent research interests
include professional planners’ ethical frameworks, neighborhood conditions and
planning issues involving race and class, and conservation easements and affordable
housing. He has taught and researched planning issues throughout the United States
and in Australia and Europe including Austria, England, France, Italy, and Poland.

Leslie R. Lewis is a Continuing Lecturer in UC San Diego's Department of Urban

Studies and Planning, and the Director of Urban Health and Equity Initiatives
for the Bioregional Center for Sustainability Science, Planning, and Design. Her
research and teaching interests include the social and environmental determinants
of health, health inequities, environmental justice, sustainability and community
resilience, healthy placemaking, healthy aging, critical pedagogy, and community-
based participatory action research.

Kelsey Lindner was a research assistant with the Bioregional Center for Sustainability
Science, Planning and Design at UC San Diego. She is trained as an Environmental
Scientist, and her research interests include ecosystem restoration and the environ-
mental connection between rural and urban environments.
 Contributors xiii

Adam Lubinsky is a Partner at WXY Studio, a nationally recognized planning

and architecture firm based in New York City with offices in Washington DC and
Chicago, IL. Adam has established practice areas that address mobility, education,
and mixed-use development using data analysis, design, and new forms of com-
munity engagement. He received his Ph.D. in urban planning and urban design
from the University College London.Adam is an APA-certified planner and Fellow
of the Urban Design Forum and currently serves as adjunct faculty at Cornell
University, Columbia University, and The New School.

Ahad Mahmood is one of the developers and founding members of the Youth
Advisory Council of the Human Environments Analysis Laboratory (HEALYAC).
He served on the HEALYAC while he was a student at London Central Secondary
School in London, Ontario. He is currently an undergraduate student in
Mathematics at the University of Waterloo (Ontario, Canada).

Phil McManus is a Professor of Urban and Environmental Geography at the

University of Sydney. His research interests include sustainable cities, urban infra-
structure, and human–animal relations, particularly the thoroughbred breeding and
horseracing industry. He is the author of Vortex Cities to Sustainable Cities:Australia’s
Urban Challenge (UNSW Press, 2005) and co-editor of Inclusive Urbanization:
Rethinking Policy, Practice and Research in the Age of Climate Change (Routledge, 2015),
plus many journal articles and chapters about urban planning, sustainability, and
environmental management. His research combines urban environmental history
with policy and planning that is future-oriented.

Walter Nicholls is an Associate Professor of Urban Planning and Public Policy at

the University of California, Irvine. His primary research interests are urban policy
and planning, social movements, and immigration. He has published in Antipode,
International Journal of Urban and Regional Research, Planning Theory, Social Problems,
Theory and Society, Urban Studies, Journal of Ethnic and Migration Studies, Urban
Geography, among others. He is the author of The Immigrant Rights Movement (2019),
Cities and Social Movements (with Justus Uitermark) (2016), and The DREAMers
(2013).

William T. Oswald, Ph.D., is the Associate Executive Director of the Global Action
Research Center, a non-profit that supports communities and organizations in
the areas of civic engagement and civically engaged research. His work is focused
on supporting communities in finding their voice, becoming civically engaged,
and inserting that voice into the public dialogue. Bill received his Ph.D. from the
University of Rhode Island, where he studied Community Psychology.With over
30 years of experience his work has ranged from direct organizing to providing
training and technical assistance to community leaders to conducting participatory
research in support of community campaigns.
xiv Contributors

Suraj Paul is one of the developers and founding members of the Youth Advisory
Council of the Human Environments Analysis Laboratory (HEALYAC). He served
on the HEALYAC while he was a student at London Central Secondary School in
London, Ontario, Canada, and remains on the council as Communications Officer.
He is currently an undergraduate student in Health Sciences at Western University
(Ontario, Canada).

Ana Perić is a Lecturer and Senior Researcher at the Institute for Spatial and
Landscape Development of ETH Zurich as well as Research Fellow at the
Faculty of Architecture, University of Belgrade, and holds a Ph.D. in Urban
Planning from the University of Belgrade, Serbia. She is also the board member
of the International Society of City and Regional Planners (ISOCARP) and an
Excellence in Education board member of the Association of European Schools
of Planning (AESOP). Her research interests include collaborative urban planning,
planning cultures, and territorial governance. In her research, she examines the
relationship between the underlying contextual factors and the nature of planning
processes with specific focus on collaborative and participatory planning instru-
ments, methods, and theory.

Keith Pezzoli is a Teaching Professor in UC San Diego’s Department of Urban

Studies and Planning. He directs the Bioregional Center for Sustainability
Science, Planning, and Design. Pezzoli’s action-oriented research aims to improve
ways people can live together sustainably in healthy, just, and rooted communi-
ties guided by a regenerative land ethic. His teaching covers subjects including
research methods, sustainability, science communication, food justice, city-regions,
and globalization.

Tyeshia Redden is a Derrick K. Gondwe Fellow and visiting assistant professor

at Gettyburg College specializing in housing, social policy, and urban governance
failures. Her work considers how social identities influence the lived urban experi-
ences of residents. In particular, Dr. Redden examines the role of scholar-activists
in combating structural inequalities and the experiences of racially marginalized
residents in vulnerable or informal communities.

Jane Rongerude is an Associate Professor in the Department of Community and

Regional Planning at Iowa State University. Her research investigates how housing
policy and planning practices shape and maintain poverty places and the potential tools
that planning offers to interrupt and potentially even transform these local systems of
poverty management.Within this frame, her work addresses a range of topics includ-
ing the redevelopment of public housing, disasters and public housing, community
engagement practices, and pedagogical innovations related to team-based learning.

Ralph Rosado, AICP, is Village Manager of North Bay Village, Florida, a Senior Fellow
at the Florida International University (FIU) Jorge M. Perez Metropolitan Center,
 Contributors xv

and an Instructor in graduate and professional programs at the University of Miami

and FIU. Ralph holds a Ph.D. in City Planning from the University of Pennsylvania
with a focus on Neighborhood Revitalization and Economic Development; a joint
Master’s degree in Public Policy and Urban Planning from Princeton University;
and a Bachelor of Arts degree in English from Florida International University’s
Honors College, where he also serves as an Honors College Fellow.

Carissa Schively Slotterback is a Professor and Dean of the Graduate School of

Public and International Affairs at the University of Pittsburgh. Her research is
focused on stakeholder engagement and decision-making in environmental and
land use planning. She has led a number of initiatives focused on interdiscipli-
nary and engaged research and education, including co-founding and directing
the Resilient Communities Project, which builds community–university partner-
ships to advance sustainability. She also previously served as Director of Research
Engagement in the University of Minnesota’s Office of the Vice President for
Research, where she created and implemented multiple initiatives to advance col-
laborative and engaged research within the university and with external partners.
She is the Vice President/President-Elect of the Association of Collegiate Schools
of Planning and was inducted in 2018 as a Fellow of the American Institute of
Certified Planners.

Salila Vanka is currently an Assistant Professor in RV College of Architecture,

Bangalore, India.An architect by training, she holds a doctoral degree in Urban and
Regional Planning from the University of Michigan. Her work experience in the
past two decades spans practice and teaching and research in urban design and plan-
ning in India and North America. Her research interests include urban history and
theory, appropriate technology in architecture and urbanism, participatory govern-
ance, and urban spatial politics in the Global South.

Elizabeth Walsh is a Scholar in Residence at the University of Colorado at Denver

in the College of Architecture and Planning.Through action-oriented, place-based,
transdisciplinary, and community-engaged research, Dr.Walsh has collaborated with
diverse partners (primarily in Boston,Austin, Buffalo, and Denver) to advance envi-
ronmental justice and community resilience through regenerative design and devel-
opment. She is interested in how equity-centered collaborations among academics,
social movement leaders, public servants, professionals, and philanthropists can build
the collective knowledge and power needed to advance climate justice.

Paul L. Watson is the President/CEO of the Global Action Research Center. He

has over 40 years of experience in nonprofit administration, community engage-
ment and development, training, and evaluation. He has completed international
development contracts in seven different countries.Watson has served as a Lecturer
and Adjunct Faculty at Springfield College, UC San Diego, New School for
Architecture and Design, and San Diego City College.
xvi Contributors

Jeremy C. Wells is an assistant professor in the Historic Preservation Program at

the University of Maryland, College Park and a Fulbright scholar. His research
explores how people perceive and are affected by patina and decay in the built
environment; the intersection between critical heritage studies and rules, laws,
and regulations; heritage behavior, including the language everyday people use to
describe old places; and the development of applied social science and participatory
methodologies that can be used by practitioners.Wells runs the heritagestudies.org
web site that explores how to evolve heritage conservation practice using critical
heritage studies theory to better balance meanings and power between experts and
most stakeholders.

Barbara Brown Wilson is an Assistant Professor of Urban and Environmental

Planning in the School of Architecture at the University of Virginia (UVA), and a
Faculty Director of the UVA Equity Center’s Democratization of Data Initiative.
Dr. Wilson is interested in how urban social movements codify their values into
the built world. Her work is often action-oriented, as she collaborates with tradi-
tionally marginalized communities to create knowledge that serves both local and
practitioner communities. She is author of Resilience for All: Striving for Equity through
Community-Driven Design (2018) and Questioning Architectural Judgement:The Problem
of Codes in the United States (2011).

Andrew Zitcer is Assistant Professor at Drexel University’s Westphal College of

Media Arts and Design where he directs the Urban Strategy Graduate Program and
holds a secondary appointment in Arts Administration and Museum Leadership.
His research focuses on the arts as a tool for community and economic develop-
ment, including the emerging field of creative placemaking, as well as research on
cooperative social and economic practices. His work has been published in the
Journal of Planning Education and Research, Planning Theory & Practice, Journal of Urban
Affairs, and Urban Geography. He is a faculty fellow at Drexel’s Lindy Institute for
Urban Innovation.
ACKNOWLEDGMENTS

We wish to express our sincere appreciation for the opportunity to edit this vol-
ume as an acknowledgement of the exceptional contributions of Sherry Arnstein
to the field of urban planning. We are grateful to the authors represented here,
who have shared valuable insights on public engagement that will continue to
move the field forward. Further, the authors’ work exemplifies the inf luence of
her work in planning research, practice, and education around the world. Many
thanks to the dozens of reviewers who shared feedback on this work and to
Routledge for their support of this edited book project. Special thanks as well to
the American Planning Association for allowing us to reprint three articles from
the 2019 special issue of the Journal of the American Planning Association on the
50th Anniversary of Arnstein’s Ladder.
The inspiration for this edited volume began while Mickey was on sabbatical
at the University of Amsterdam and the Politecnico di Milano during the sum-
mer and fall of 2018. He would like to thank the faculty in the Department of
Human Geography, Planning, and International Development for their warm
welcome, hospitality, scholarly interactions, and institutional support. In par-
ticular Tuna Tasan-Kok, Willem Salet, and Jochem de Vries’s support was critical
during the prospectus development. Much of the initial work with the authors in
this volume began while Mickey was visiting in the Department of Architecture
and Urban Studies (DAStU) at the Politecnico di Milano. He would like to
thank the DAStU for its support and hospitality. In particular discussions with
Alessandro Balducci and his research group, Eugenio Morello and faculty in his
lab, Davide Ponzini, Gabriele Pasqui, and Stefano Moroni provided support,
encouragement, and insight for the project.
xviii Acknowledgments

Carissa wants to express particular gratitude to colleagues at the University

of Minnesota for support and encouragement during this project. In addition,
she wishes to acknowledge the ongoing inspiration for further work to advance
public engagement research and practice from academic colleagues and former
students.
1
INTRODUCTION
Learning from Arnstein’s Ladder: From
Citizen Participation to Public Engagement

Mickey Lauria and Carissa Schively Slotterback

For over 50 years, Sherry Arnstein’s Ladder of Citizen Participation has offered
a simple yet elegant characterization of the problems and prospects for achiev-
ing more meaningful participation of communities in the public decisions that
affect them. Writing in 1969, at the height of the civil rights movement and
implementation of massive urban renewal and social support programs in the US,
Arnstein offered a pointed critique of superficial, or worse, manipulative or pla-
cating participation efforts. At the same time, her ladder offered inspiration for a
new practice of participation that centered people, communities, and power. In
doing so, she contributed further momentum to a fundamental shift in the role
of the planner from rational technician, to values-driven advocate, mediator,
facilitator, organizer, and communicator.
With this volume, we offer a snapshot of contemporary issues and practices
in what is now more commonly referred to as public engagement rather than
citizen participation. The authors highlighted here draw on Arnstein for inspi-
ration, for the language of power, for evaluative frameworks, and more. They
are not alone, as Arnstein’s article has been cited over 19,000 times as of late
2019, according to Google Scholar. Over 1,400 of those citations have occurred
between January and November 2019 and addressed topics such public engage-
ment in autism research, planning for smart cities, citizen science, and more. The
volume and reach of her work is extraordinary. The chapter authors highlight
planning and engagement processes focused on a range of issues and contexts.
The chapters draw on the expertise of scholars from around the world, illustrat-
ing the extensive reach and impact of Arnstein’s work across the globe. The
chapters also address engagement efforts in places as wide-ranging as Australia,
Brazil, India, Indonesia, Portugal, Serbia, and the United States, highlighting the
transferability of Arnstein’s fundamental concepts across institutional structures
and cultures. Some of the chapters also offer critical perspectives on the failure
2 Mickey Lauria and Carissa Schively Slotterback

of the typical public engagement processes in addressing underlying inequities

and power imbalances and in truly advancing justice and power redistribution.
Overall, the work in this volume offers insights into four key issues that are
indicative of where planning is as a field in integrating public engagement. First,
we examine issues of institutionalizing public engagement. Arnstein’s 1969 article
in part reacted to initial efforts to institutionalize participation requirements in
federal urban renewal policies. It is clear that those efforts were insufficient and
even further marginalized affected residents and other stakeholders. For example,
she illustrates the lowest rung of her ladder—manipulation—in describing Citizen
Advisory Committees and their subcommittees on minority groups as function-
ing “mostly as letterheads, trotted forward at appropriate times to promote urban
renewal plans” and venues wherein “it was the officials who educated, persuaded,
and advised the citizens, not the reverse” (Arnstein, 1969, p. 218).
Since that time, we have seen requirements for public participation and public
noticing emerge in many public sector organizations and policies, and subse-
quently be challenged as insufficient in many public sector organizations and
policies. Even as early as 1981, Checkoway’s analysis of the literature on pub-
lic participation and public hearings highlights serious deficiencies in terms of
access to information and attendance in participation opportunities. In the dec-
ades that followed, more substantial efforts to institutionalize participation in
federal and state policies, to allow for earlier and more meaningful participa-
tion, were pursued. Planning researchers sought to evaluate the impacts of new
participation requirements and expectations (e.g., Brody, Godschalk, & Burby,
2003; Margerum, 2005; Slotterback, 2008). In contemporary scholarship, we see
work such as from Quick and Feldman (2011), Karner et al. (2019), and Legacy,
March, and Mouat (2014) evaluate and point to the challenges in institutional-
ized structures for public engagement in communities in the context of park
and recreation planning, budgeting, and redevelopment. Also ref lective of the
growing focus of the planning field, at least in the US, on public engagement is
its presence in language in the American Institute of Certified Planners Code
of Ethics (2005), which sets forth the principle that “We shall give people the
opportunity to have a meaningful impact on the development of plans and pro-
grams that may affect them”. It also suggests that “Participation should be broad
enough to include those who lack formal organization or inf luence”.
Second, we focus on public engagement efforts as a means of sharing power.
Arnstein introduces language around power sharing at the placation and part-
nership rungs of the ladder, calling out roles for participants in advising, nego-
tiating, and engaging in “tradeoffs with traditional powerholders” (217). It is
widely acknowledged that power is not held equally among all in our communi-
ties. There is also evidence that those who are non-white and have lower levels
of education and lower incomes are less likely to participate (Fagotto & Fung,
2006; Hoang, 2019). In addition, there are significant barriers to participation
for those who have language barriers, distrust government, and more (Allen &
Slotterback, 2017; Lee, 2019; Sandoval & Rongerude, 2015). Ref lecting on our
 Introduction 3

progression as a planning field, advocacy and equity planning approaches of the

1960s and 1970s coming out of the US context position planners as promoting
power sharing by representing communities, offering technical support, helping
them to reveal their interests, and integrating their priorities into planning docu-
ments (Davidoff, 1965).
Moving forward we have seen the growing emphasis on planners as facili-
tators and mediators, creating and supporting processes by which multiple
interests could come to the table, deliberate around community and individual
interests, and have opportunities for equal inf luence (Susskind & Ozawa, 1984;
Forester, 1994). Communicative, evolving to collaborative, planning approaches
and scholarship in particular have centered planners in the role of advancing
shared power by supporting consensus building through the design and facilita-
tion of participatory planning processes (Healey, 1992; Innes, 1992; Margerum,
2002). This work places an emphasis on planners’ roles in facilitating learning
among participants and the cogeneration of plans, policies, and decisions (Innes
& Booher, 1999; Mandarano, 2008; Schively, 2007). At this time, we also saw
an intentional focus on identifying those who have not been represented in prior
participation processes. Following from the focus on the how in public engage-
ment, Bryson (2004) offers insights on defining and identifying stakeholders,
including those who have lower levels of power. Research also highlights those
not represented or even excluded including youth, immigrants, and those with
intersectional identities (Botchwey et al., 2019; Kondo, 2012; Osborne 2015,
Roberts & Catungal, 2018).
A third strain of current work, exemplified by some of the authors high-
lighted here, focuses on public engagement as a means of power redistribution.
For Arnstein, redistribution occurs at the upper rungs of the ladder at dele-
gated power and citizen control when “have-not citizens obtain the majority of
decision-making seat, or full managerial power”. Coupled with Arnstein, work
by Krumholz (1982) on equity positions planners in the role of making plans
that are equitable, which inherently requires shifting power from those who
have traditionally held it to those who have not. Fainstein (2010) further rein-
forces redistribution with her work on justice, positioning planners as activists in
redistributing power through engagement and other tactics. More recent work
focuses on capacity building via public engagement, accomplishing redistribu-
tion in a sense by creating new power in communities (Laurian & Shaw, 2009;
Rosen & Painter, 2019).
These developments, adopted throughout much of the world, have not been
received uncritically (e.g., Maier, 2001; Sager, 2011). This post-politics school
(see Allmendinger and Haughton, 2013, 2015; Metzger, Allmendinger, &
Oosterlynck, 2015; Purcell, 2009; Swyngedouw, 2005, 2009) emerged from the
early post-Fordist and regulationist theories of Dear and Clark (1981) and demo-
cratic political theories of Mouffe (2000) and Ranciere (1998). These analysts,
working loosely within these political economic frameworks, have noticed that
these engagement/collaborative theories and techniques have been implemented
4 Mickey Lauria and Carissa Schively Slotterback

in a staged fashion (analogous to Arnstein’s ladder non-participation rungs of

manipulation and therapy) and often in democratically insolated structures (e.g.,
tasks forces, ad hoc committees, collaboratives) in order to disguise and depo-
liticize neoliberal elite preferences as pragmatic policies, plans, and projects of
wide-ranging consensus and thereby silence dissenting viewpoints often in the
interest of Arnstein’s haves. This depoliticization has led to the use of protest
as the only “have-not” voice, and a growing focus on insurgent approaches to
planning (see Laskey and Nicholls and Haughton and McManus here) offer new
insights on how planners can use organizing, protest, resistance, and other tac-
tics to exert pressure on institutions and even work outside of them (Beard,
2002; Irazábal & Neville, 2007; Miraftab & Wills, 2005; Sandercock, 1998,
Sandercock and Bridgman, 1999). Recently, planning educators and allied social
scientists have been pushing beyond the false dualism of consensus/conf lict in
post-political and insurgent theories. Gualini’s edited book (2015) and the spe-
cial issue of Planning Theory (Legacy et al., 2019) stress the importance of creat-
ing new conceptualizations of participation in order to improve the efficacy of
insurgent planning in the redistribution of political power and reducing inequal-
ity in its diverse forms.
A fourth area of focus in the book is the role of public engagement in plan-
ning education and by planning educators. It is doubtful that Arnstein could have
imagined the extent to which public engagement is now present in both planning
curricula and pedagogy. For example, in the US context, accreditation standards
for urban planning graduate programs require that curricula offer skills training
related to tools for stakeholder involvement, community engagement, and work-
ing with diverse communities (Planning Accreditation Board, 2017). In the UK,
the Royal Town Planning Institute’s accreditation guidelines specify related learn-
ing outcomes, explaining “the principles of equality and equality of opportunity
in relation to spatial planning in order to positively promote the involvement of
different communities, and evaluate the importance and effectiveness of com-
munity engagement in the planning process” (2012, p. 11). Frank and Sieh (2016)
provide evidence of at least modest coverage of community involvement content
in the curricula of programs accredited by the Royal Town Planning Institute.
The literature on public engagement content in urban planning curricula and
pedagogy focuses primarily on university–community engagement programs
that support students and faculty in connecting with communities. The litera-
ture includes numerous case studies of engaged learning via studios and other
university projects (Barry et al., 2019; Senbel, 2012; Sletto, 2010). One of the
best known in the US context is Reardon’s (1998) work with the East St. Louis
Revitalization Project at the University of Illinois and Urbana-Champaign.
More recently, Schlossberg et al. (2018) have highlighted efforts to build uni-
versity–community engagement programs that foster sustained collaboration
between planning faculty, students, and communities to advance innovation in
community sustainability.
 Introduction 5

We offer a here a broad sweep of the extensive planning literature on public

engagement, highlighting the work of a wide range of scholars working in a
wide range of contexts. They and others build on Arnstein’s iconic ladder and
refine how we think about the objectives for and outcomes of public engage-
ment. They also set expectations for an evolving role for planners from planning
for to planning with. Arnstein has inspired us to think as well about how we can
continue to center power in our work on public engagement. The authors in this
edited volume offer a similar characterization of public engagement in numer-
ous contexts. They offer us insights on how public engagement can impact and
even transform institutions, evolve power structures and even create new power,
and emphasize the significance of engagement as we teach future planners and
deepen our relationships with the communities we serve.
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